Capability Assessment Suggestions on Where to Find Evidence
SECTION 1 - PROCUREMENT LEADERSHIP AND GOVERNANCE
1. Procurement organisational structure (current and future) and where procurement sits within organisation. Organisation strategy documents and procurement strategy documents. Numbers of procurement staff to expenditure and risk of commodity. Documents showing procurement involvement.
1.1 Procurement organisational structure (current and future) and where procurement sits within organisation. Organisation strategy documents and procurement strategy documents. Numbers of procurement staff to expenditure and risk of commodity. Documents showing procurement involvement.
1.1A Procurement organisational structure (current and future) and where procurement sits within organisation. Role description for head of procurement. Minutes of regular meetings the "head of procurement" is involved in.
1.1B Procurement organisational structure with role descriptions, commodities and spend mapped to individuals. List of those authorised to procure and where they sit in the organisation.
1.2 Procurement organisational structure with role descriptions, commodities and spend mapped to individuals. List of those authorised to procure and where they sit in the organisation.
1.2A Procurement organisational structure with role descriptions, commodities and spend mapped to individuals. List of those authorised to procure and where they sit in the organisation. List of qualified procurement professionals.
1.2B Minutes for "User Intelligence Groups". Stakeholder mapping documents.
1.2C Linkages of procurement systems with accounts payable and receiving. Overall organisation charts.
1.2D Customer relationship mapping. Minutes from meetings with customers. Customer complaints and action plans for the complaints. Customer feedback forms. Improvements shown in customer service e.g. reduction in complaints. Feedback from procurement to customers. Post project review meeting minutes.
1.3 Delegated purchasing authority policy documentation. Reporting on adherence to the policy.
1.3A Delegated purchasing authority policy documentation. Reporting on adherence to the policy. Purchasing systems routing to people with appropriate authority documentation.
1.4 Audit reports on the procurement process.
1.4A Audit reports on the procurement process, including reports on procurement considered by the organisation's audit committee, and evidence of follow-up where appropriate.
SECTION 2 - PROCUREMENT STRATEGY AND OBJECTIVES
2. Procurement strategy documentation, business plan, delivery plan, documents showing cross function involvement and sign offs. Any communications issued regarding strategy and evidence of compliance. Any process documentation.
2.1 Procurement strategy documentation, business plan, delivery plan, documents showing cross function involvement and sign offs.
2.1B - Procurement Strategy Documentation, Business Plan, process documentation.
2.1A Procurement strategy documentation. Risk and management plan. Statements on CSR, equalities, ethical procurement ad sustainability.
2.2 Links from procurement strategy documents to organisation's strategy documentation.
2.2A Procurement strategy documentation, business plan, delivery plan, documents.
2.2B Outsourcing policy documentation. Minutes of meetings on the subject of outsourcing projects. Outsourcing strategy documentation.
2.2C Sustainability statements in business plans, policies and strategies.
2.3 Meetings with board members minutes.
2.3A Procurement strategy documentation and communication plan.
2.3B Business plan, delivery plan documents showing cross function involvement with sign offs.
SECTION 3 - SPEC. OF GOODS AND SERVICES
3 Process documentation, minutes, reports, defining requirements documentation in sourcing strategy.
3.1 Process documentation, minutes of supplier meetings, market research documentation, minutes of meetings with other organisations buying the same commodities.
3.1A Process documentation, minutes of supplier meetings, market research documentation, minutes of meetings with other organisations buying the same commodities.
3.1B Organisation charts with role descriptions for individuals involved in new product identification, process documentation, market research documentation, evidence of use of new products.
3.1C Catalogues and version control of catalogues. Process documentation.
3.2 Demand management process documentation.
3.2A Demand management process documentation and audit records of compliance. Evidence of challenge on demand.
3.2B Process documentation, "User Intelligence Group" meeting minutes.
SECTION 4 - SOURCING STRATEGIES AND COLLABORATIVE PROCUREMENT
4. Process documentation, examples of sourcing strategies, minutes of meetings and "User Intelligence Groups" showing cross-functional input. Information sources such as reports. Evidence of results/successes.
4.1 Examples of sourcing strategies following the SPD toolkit process. Minutes of "User Intelligence Groups".
4.1A Examples of sourcing strategies following the SPD toolkit process. Minutes of "User Intelligence Groups".
4.1B Examples of sourcing strategies following the SPD toolkit process. Minutes of "User Intelligence Groups".
4.1C Latest BPI 5 data. Contracts register. Information on spending in 2008-09 and current year (if available). Expenditure reports from the Hub, together with sourcing strategies and purchase orders raised for category A and category B commodities. Spending in 2008-09 on collaborative contracts.
4.1D Examples of sourcing strategies following the SPD toolkit process. Evidence of stretching the boundaries and innovation in the strategies.
4.1E SPD Policy Handbook and reports checking policy compliance. Minutes of meetings requesting legal advice. Standard terms and conditions. Evidence of EU training for staff. Copies of requests for procurement staff to provide advice to the organisation on procurement policy and EU regulations.
4.1F Examples of sourcing strategies considering sustainability. Reports on key suppliers financial stability on an ongoing basis. Evidence of adoption of Scottish Sustainable Procurement Action Plan.
4.1G Examples of sourcing strategies considering sustainability. Evidence of adoption of Scottish Sustainable Procurement Action Plan. Delivery plan incorporating sustainability objectives.
4.1H Reports on key suppliers' financial stability on an ongoing basis.
4.2 Examples of sourcing strategies and the expenditure reports used in the strategies. Examples of reports on forecast of expenditure.
4.2A Examples of sourcing strategies and the expenditure reports used in the strategies. Examples of reports on forecast of expenditure.
4.2B Reports from the Hub used in developing sourcing strategies. Evidence of benchmarking prices. Examples of sourcing strategies.
4.2C Buyer Profile from Public Contracts Scotland portal. Information on number and value of contract opportunities and contract awards placed on Public Contracts Scotland since October 2008. Information on trade fairs attended and "Meet the Buyer events".
4.2D Contracts with corporate responsibility clauses in contracts where CSR is directly related to the performance of the contract. Risk analysis, examples of sourcing strategies. Communications on 'good news' stories regarding CSR.
4.3 Implementation plans for sourcing strategies.
4.3A Implementation plans for sourcing strategies including risk assessment, benefits case, training and communication plan. Feedback from end users on implementation. Post project review documentation. Dedicated delivery managers documentation.
4.3B Output of BPI 7. Savings and benefits tracking documentation. Action plans. Organisation charts (present and future).
4.3C Minutes from post project reviews and action plans for improvements. Evidence of change resulting from action plans.
4.4 Minutes of meetings with other public sector bodies. Purchase orders placed against category A and B commodity contracts.
4.4A Minutes of meetings. Minutes of meetings with non public sector organisations.
4.4B Reports from the Hub. Sourcing strategies for collaborative contracts. Minutes of meetings on collaboration on joint commissioning of procurement of services.
4.4C Service Level Agreements with the CoEs. Minutes of user improvement groups. Communication strategy with the CoE.
SECTION 5 - CONTRACT AND SUPPLIER MANAGEMENT
5. Contract and supplier management process in line with the SPD toolkit.
Process documentation, supplier surveys, improvement in supplier performance documentation.
5.1 Contract and supplier management process in line with the SPD toolkit. Process documentation.
5.1A Existing contracts with KPIs and SLAs. Reports monitoring KPIs and SLAs. Exit strategy, risk and change management documentation. Reports showing improvements in supplier performance.
5.1B Documentation and/or electronic means of communicating contract content to whole organisation.
5.1C Minutes of supplier management meetings. Segmentation of suppliers based on high spend/high risk reports. Supplier management process in line with SPD toolkit.
5.1D Policy and procedure documentation. Processes and audit reports showing compliance with policy and procedures.
5.1E Process documentation. "Boilerplate" terms and conditions. Existing contracts modified for specific purpose.
5.2 Process documentation. Supplier meeting minutes. Supplier conferences. Evidence showing suppliers awareness of organisation's strategy.
5.2A Process documentation. Supplier meeting minutes. Supplier conferences. Evidence showing suppliers awareness of organisation's strategy.
5.2B Process documentation. Supplier meeting minutes. Supplier conferences. Evidence showing suppliers awareness of organisation's strategy. Existing contracts.
5.2C Frequency of forecast of demand reports agreed with supplier and compliance demonstrated. Actual demand compared with forecast demand documentation. Contingency plan documentation.
5.2D Outputs of BPI 3. Supplier meeting minutes.
5.3 Supplier management process in line with SPD toolkit.
5.3A Supplier management process in line with SPD toolkit.
5.3B Supplier assessment documentation. Supplier improvement plans. Evidence showing suppliers are improving.
5.3C Examples of "Pre Qualification Questionnaires".
5.3D Supplier assessments and improvement plans documentation. Reports showing suppliers are improving. Documentation from supplier conferences.
5.3E Role descriptions for individuals leading supplier development. Supplier development meeting minutes. "User Intelligence Group" meeting minutes.
5.3F Supplier performance measurement/assessment survey documentation.
5.3G Supplier assessments and improvement plans documentation. Suppliers assessment template and documentation of how this is used to benchmark outside of organisation. Reports showing suppliers are improving. Feedback communications to suppliers.
SECTION 6 - KEY PURCHASING PROCESS AND SYSTEMS
6. Reports from technology systems, purchase order process from creating PO to invoicing, receiving and paying for goods and services.
6.1 - Purchase order process from creating PO to invoicing, receiving and paying goods and services.
6.1A Reports from technology systems. Documented strategy on packaging where appropriate.
6.1B Technology system, payment terms. Reports on late payment of invoices.
6.1C Quality management process documentation. Review of stores processes and procedures.
6.1D Output from BPI 9. Technology systems.
6.1E Technology Systems. Commodity reports at line item level.
6.2 Reports from technology systems.
6.2A Reports from technology systems.
6.2B Reports on Purchasing Card usage and reports on consolidated invoicing, self-billing and e-invoicing.
6.3 Reports on how long stock is held for before being used.
6.3A Technology system.
6.3B Stock control processes and procedures.
SECTION 7 - PEOPLE
7. Professional qualifications of staff. Training plans, resource plans.
7.1 - Professional qualifications of staff, training plans, resource plans, reports on competency of procurement staff .
7.1A Role descriptions, minutes of meetings, additional duties/tasks of procurement staff.
7.1B Reports on competencies of procurement staff, sourcing strategies.
7.1C Minutes of meetings, procurement strategy linked to individuals' objectives.
7.1D Resource plans.
7.2 Statistics on performance reviews being up to date, training/development plans, talent development strategy, retention of staff strategy.
7.2A Scottish Procurement Competency Framework. Output of BPI 7a and b.
7.2 B Performance review templates and policy.
7.2C Training and development plans. Budget. Output of BPI 8. Individuals' objectives linked to procurement strategy. Mentoring programme documentation.
7.2D Role descriptions for individuals outside procurement with delegated purchasing authority. Delegated purchasing authority process and policy. Training documentation for delegated purchasers.
7.2E EU legislation courses. Training plans cover EU legislation.
SECTION 8 - PERFORMANCE MEASUREMENT
8. Sourcing strategies.
8.1 Measures and targets process documentation.
8.1A Sourcing strategies.
8.1B All BPIs completed, sourcing strategies.
8.1C Management Information reports.
8.2 Increase in results from BPI's.
8.2A BPIs and benefits/savings reports, including Board, Council, corporate management team or equivalent papers on procurement performance.
8.2B Output from BPI 6. Management reports.
8.2C Benefits/savings reports. Business plans, process documentation.